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12 Mar 2024, 8:58 am
Article 11 EMIR on risk mitigation measures has also been amended to ensure that NFCs that become subject for the first time to the obligation to exchange collateral for non-cleared over-the-counter (OTC) derivative contracts can benefit from an implementation period of four months to negotiate and test the arrangements to exchange collateral. 6. [read post]
12 Mar 2024, 8:04 am
The US Department of Justice is planning to launch its own whistleblower program using the same model as the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). [read post]
12 Mar 2024, 8:02 am
Reddit plans to list 22 million shares at a price between $31 and $34, according to the latest version of the IPO prospectus it filed Monday with the Securities and Exchange Commission. [read post]
12 Mar 2024, 3:36 am
[4] See id. at 15 (“[T]he Commission’s disclosure requirements . . . are designed for traditional corporate entities that typically issue and register equity and debt securities. [read post]
12 Mar 2024, 2:48 am
It was alleged that he had requested and accepted a bribe of €303,360, disguised as commission, from the pharmaceutical company, in exchange for which he, using his social status, contacts or other possible or supposed influence, had convinced several people in charge of the response to the pandemic to purchase tests from the company. [read post]
11 Mar 2024, 10:00 pm
Review the Cryptocurrency and Litigation tracker, developed by Jason Gottlieb, Partner at Morrison Cohen LLP, for up to date information on key cryptocurrency litigation and administration proceedings from the Securities Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Department of Justice (DOJ), and other federal agencies, as well as civil, state, and local authorities. [read post]
11 Mar 2024, 10:00 pm
Partners Celia Soehner and Erin Martin wrote an article for Law360 discussing the US Securities and Exchange Commission’s (SEC’s) new climate disclosure rules. [read post]
11 Mar 2024, 10:00 pm
Partners Celia Soehner and Erin Martin wrote an article for Law360 discussing the US Securities and Exchange Commission’s (SEC’s) new climate disclosure rules. [read post]
11 Mar 2024, 10:00 pm
Partners Celia Soehner and Erin Martin wrote an article for Law360 discussing the US Securities and Exchange Commission’s (SEC’s) new climate disclosure rules. [read post]
11 Mar 2024, 10:00 pm
Partners Celia Soehner and Erin Martin wrote an article for Law360 discussing the US Securities and Exchange Commission’s (SEC’s) new climate disclosure rules. [read post]
11 Mar 2024, 10:00 pm
Partners Celia Soehner and Erin Martin wrote an article for Law360 discussing the US Securities and Exchange Commission’s (SEC’s) new climate disclosure rules. [read post]
11 Mar 2024, 10:00 pm
Partners Celia Soehner and Erin Martin wrote an article for Law360 discussing the US Securities and Exchange Commission’s (SEC’s) new climate disclosure rules. [read post]
11 Mar 2024, 9:05 pm
Securities and Exchange Commission (SEC) responded to technical issues related to the gamification of trading by requiring increased disclosure obligations for broker-dealers, but only after amateur investors suffered losses. [read post]
11 Mar 2024, 9:01 pm
A reading of Section 14(a) of the Securities Exchange Act of 1934, the statutory section on proxy solicitations, reveals that when it comes to deciding which shareholder proposals are to be included in a company’s proxy materials and voted on at the annual meeting, there is no congressional command in the text that directs the SEC to interfere in this area of substantive board decision-making. [read post]
11 Mar 2024, 3:22 pm
“The DOJ has miles to go in establishing a whistleblower program that’s on par with programs at the Securities and Exchange Commission and the Commodity Futures Trading Commission,” writes Stephen M. [read post]
11 Mar 2024, 10:02 am
Mehta, Kaitlyn Box, Mar. 11, 2024 "On November 29, 2023, the Supreme Court heard oral argument in Securities and Exchange Commission v. [read post]
11 Mar 2024, 8:37 am
Now the Department plans to expand its use of that authority to fill gaps in the whistleblower programs operated by other agencies — including the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Internal Revenue Service, and the Treasury Department’s Financial Crimes Enforcement Network. [read post]
11 Mar 2024, 5:59 am
Securities Commission (the Commission) clarified the interpretation of “acting jointly or in concert” in the context of a proxy fight, setting a high bar for a finding of a joint actor relationship. [read post]
10 Mar 2024, 2:56 pm
Last Wednesday by a 3 to 2 vote the Securities and Exchange Commission adopted long awaited rules to enhance and standardize climate related disclosures, including for the first time requiring greenhouse gas emission disclosures by public companies and in public offerings. [read post]
8 Mar 2024, 7:36 pm
On February 16, 2024, the Securities and Exchange Commission (SEC) filed a cease-and-desist order along with sanctions against TIAA-CREF Individual and Institutional Services, LLC (TC Services), citing failure to comply with Reg BI’s Care Obligations. [read post]
